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Michael Raffa

Mizuho Securities USA LLC

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About Michael Raffa

Michael Raffa is a financial professional with over 8 years of experience in the industry. Michael is currently registered with Mizuho Securities USA LLC, where he has been employed since July 23, 2024. Prior to joining Mizuho Securities, Michael worked at UBS Securities LLC, and CREDIT SUISSE SECURITIES (USA) LLC. Michael holds FINRA Series 7, 7TO, SIE, and Series 63 licenses. He is also registered in New York.

Firm Information

Michael Raffa is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Michael Raffa’s Registration & Firm History

NY

07/23/2024 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

03/15/2021 - 09/29/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

AZ

03/04/2015 - 11/18/2016

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NY

01/12/2015 - 03/17/2015

AXA ADVISORS, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/07/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/15/2021

Series 7TO - General Securities Representative Examination

BC

Issued 02/18/2021

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Michael Raffa.
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